How to assess change readiness http://www.lencd.org/group/learning-package/document/how-assess-change-readiness Summary and key action points The purpose of a change readiness assessment is to analyse the preparedness of the conditions, attitudes and resources, at all levels in a system*, needed for change to happen successfully. The greater the complexity of the proposed change, the greater the importance of understanding where there is readiness for change as this can be critical for deciding about both the entry points and the means of intervention. Key action steps - First define the scope of the proposed change to ensure that you and all key stakeholders know the full range of system components that need to be assessed. It is important to understand whether the whole system, and any or all of the elements within it, are ready. - Select and adapt tools. There are some generic tools and resources available for change readiness assessment, mostly from the business world, and there are also a few that have been created for the development sector. Some useful materials can be found on the following websites: http://www.strategies-for-managing-change.com/index.html; http://www.evidenceintoaction.org/index.php?q=node/166; and, http://www.evidenceintoaction.org/index.php?q=node/217 www.capacity4dev.eu www.cipd.co.uk/subjects/corpstrtgy/general/pestle-analysis.htm?IsSrchRes=1 All generic tools should be adapted for relevance to local needs and context before they are used. If nothing is available to suit your specific needs you can create your own. Be sure your assessment cover attitudes, conditions and resources at all three levels. - Find change readiness. The starting point for any assessment is identified by the scope of the capacity development initiative and associated change that is envisioned from its implementation. Whatever the starting point of your assessment you need to go beyond looking at one specific point in the system to all three levels, so a ‘zoom in and zoom out’ to other levels and points in the system will give you better information. Zooming in means looking at smaller units, such as departments, teams or individuals. Zooming out means assessing relevant factors in the surrounding environment. Additionally you will need to assess different dimensions of readiness: attitudes, conditions and resources. It is absolutely essential to include a realistic analysis of the political economy at national and or local level in any change readiness assessment. - Define change readiness. Your summary definition of readiness does not need to be complex, it can be as simple as: Fully ready; Partially ready; or, Not ready at all, so long as your conclusion is backed by appropriate evidence. * In this context the word system is being used to cover organisations, sectors, networks, national structures, or any other combination of elements that might together be the focus of a capacity development initiative. Explanation Introduction Readiness means being prepared. In summary change readiness can be defined as: - Having the right conditions and resources in place to support the change process - Having a clear vision and objectives for the intended change - Having the motivation and attitudes to engage with the change and make it work So the purpose of a change readiness assessment is to analyse the preparedness of the conditions, attitudes and resources need for change to happen successfully. The greater the complexity of the proposed change, the greater the importance of understanding where in the system* there is readiness for change as this can be critical for deciding about both the entry points and the means of intervention. * In this context the word system is being used to cover organisations, sectors, networks, national structures, or any other combination of elements that might together be the focus of a capacity development initiative. Why assess for change readiness? In any context capacity development represents change. Implementing and managing change is usually a very big undertaking which is why there is so much attention paid to it in the academic and business worlds, and increasingly development practitioners understand how important it is to the success of development initiatives at all levels. The Readiness can be about working to changes intended by a capacity development initiative develop new capacity or about may be on a very large scale, affecting many elements creating the conditions to enable and individuals within a system and how they relate to each other, or they may be quite small affecting only existing capacity to be used. one part of a system and a few people. Whatever the size and scope of the intended change it is important that you and key stakeholders understand whether the whole system, and any or all of the elements within it, are ready. This is for two reasons: firstly, if you embark on a capacity development change initiative without assessing readiness, at best you risk wasting opportunities and resources, and at worst you risk doing damage to existing capacity. (This is why change readiness assessments are sometimes referred to as change risk assessments.) Secondly, the interrelatedness of all parts in a functioning system means that even though many may be ready, perhaps one small element could block capacity development initiatives from being effective. Change readiness does not have to be about the creation of new capacity but may be instead about the conditions for people to be able to use existing capacity, for example collaborative team work, or salaries and incentives to motivate and retain staff. It can also be about the ability to manage change, which requires several soft capacities such as communication skills, flexibility and responsiveness, strategic thinking and so on. The lack of the right conditions often creates blocks to capacity creation, utilization and retention. Understanding where these blocks are can give you valuable guidance for entry points: maybe the block has to be dealt with first in order to free up access to all other parts of the system, or maybe the proposed entry point has to be amended in order to by-pass a block that can’t be overcome. You should always Finding and defining change readiness As with other aspects of capacity development the very strong assess readiness at all interrelationships between the three levels makes it essential that three levels. you assess readiness at all three. While some change readiness assessment tools focus on organisations the majority are very heavily oriented towards individuals. Neither focus will give you a comprehensive analysis of change readiness for the purposes of a capacity development initiative. You need to go beyond looking at one specific level or point in the system so a ‘zoom in and zoom out’ to other levels and points in the system will give you better information, and an example of how to do this is given below. Alongside the levels you will need to assess different dimensions of readiness: attitudes, conditions and resources. The levels and dimensions are shown together in the matrix below. While conditions and resources are of course important it is It is absolutely essential to increasingly understood that it is absolutely essential to include a realistic analysis of make an honest assessment of the political economy. All the political economy in any too often in the past capacity development initiatives have change readiness assessment. been launched without taking account of the political economy with the result that little, if any, sustainable change has been achieved. The support of key stakeholders, who may be at national or local level, is essential to sustainable change. There may be many reasons why powerful stakeholders choose not to engage and give their active support to a capacity development initiative, for example: they may not see any benefits for them; they may see some threats to their own interests; they may have other priorities; they might not understand the need or what the process is about; or, it may be that powerful regional or international factors are at work. Only when you have identified and understood such factors will you be able to plan interventions that work appropriately to address or overcome constraints arising from the political economy. While you would of course need to write up the findings of your assessment process, a matrix such as the one below could be a helpful guide for your analysis and visual summary of the findings. A simple phrase such as Fully ready; Partially ready; or, Not ready at all in each box would show clearly both where there are strong elements of change readiness that can be engaged and built on for the capacity development initiative, and where preparatory work, perhaps to overcome resistance or create enabling conditions, has to be done before any change process can start with a hope of success. Levels → Institutional/enabling Organisational Individual environment Dimensions ↓ Attitudes: The political 1 2 3 economy for change: the vision of a different future and the commitment to achieve it Conditions: The laws, 4 5 6 structures, systems, etc. necessary to mandate, support and manage the change Resources: The human, 7 8 9 physical and financial resources needed to support or facilitate the change The starting point for any assessment is identified by the scope of the capacity development initiative and associated change that is envisioned from its implementation. If, for example, the initiative is to be a major sector reform, your starting point might be in box 4 – looking at the what laws, policies, strategies are already in place in the institutional environment to mandate the necessary changes. Or if the focus is something smaller, like extending the operational mandate of a ministry department then your starting point would likely be boxes 5 and 8, looking at the functional and resource factors at the organisational level. Once you have decided on the starting point the ‘zoom in – zoom out’ idea can be a useful guide for ensuring that your assessment covers all relevant factors. Zooming in means looking at smaller units, such as departments, teams or individuals. Zooming out means assessing relevant factors in the surrounding environment. What this might mean in practice is shown in the table below. Levels → Institutional/enabling Organisational Individual environment Dimensions ↓ Attitudes: Zoom out to the political Zoom out to the culture Zoom in to the attitude of economy for change: e.g. and motivation in the key stakeholders: e.g. will what factors in the organisations in the sector the leadership give the environment will enable or and associated networks change their political inhibit the work? support? Conditions: Start here for sector Zoom in to the mandates, Zoom in to the job reform conditions: e.g. governance, structures and descriptions and conditions what laws, policies, systems of individual of service of individuals structures, systems are organisations already in place? Resources: Zoom in to look at what Zoom in to organisational Zoom in to the knowledge external resources are resources: e.g. do they and skills of individuals who already available to have what they need to will be critical to support the change implement and manage the implementation change? Finding helpful tools The matrix above can be considered as a tool, but you might find that it does not fit your needs, or you want different tools to look at more specific components of system readiness. There are some generic tools and resources available for change readiness assessment, mostly from the business world, and there are also a few that have been created for the development sector. Some useful materials can be found on the following websites: http://www.strategies-for-managing- change.com/index.html; http://www.evidenceintoaction.org/index.php?q=node/166; and, http://www.evidenceintoaction.org/index.php?q=node/217 There are two development specific tools in the EuropaAid Capacity Development Toolkit (www.capacity4dev.eu). Tool 6 is for making a qualitative assessment of the strengths and weaknesses of the available capacity to manage change of a team or an individual. It is primarily intended for use by stakeholders who intend and have the option to play a significant role. This tool works with the “open systems approach” and the capacity of a change team is defined by 1) its internal strengths and weaknesses, 2) by stakeholders in the context and 3) the ability of the team to relate to stakeholders, which depends on the team’s skills and the positions of the stakeholders. Tool 6a is for mapping current strengths and weaknesses of the relations of the change team to key stakeholders, and of the internal strengths and weaknesses of the team to improve these relations in favour of capacity development and change. The tool helps the team to establish a realistic picture of whether it will be able to handle the change. PESTLE is an acronym for political, economic, sociological, technological, legal, and environmental. This is a well-known assessment tool from the business world which can be very effectively for doing an analysis of the context and conditions in which an organisation exists, especially the political economy. The findings of a PESTLE analysis can highlight both positive and negative influential factors for capacity development processes, and that information can be used to guide decision making. It is considered to be most effective when used as a self-assessment tool. A useful guide to the PESTLE analysis tool is available from the Chartered Institute of Personnel and Development (CIPD) at www.cipd.co.uk/subjects/corpstrtgy/general/pestle-analysis.htm?IsSrchRes=1 The questionnaire below is an example of tools available from the business world. It was created by WorkLife Design (2008) and is available, with several others, from http://www.strategies-for- managing-change.com/change-management-implementation.html It is a good example of the many tools and questionnaires that are available on the Internet if you type ‘change readiness assessment’ into a search engine. Change Readiness Survey Take a few moments to think about how your organization typically plans for and implements workplace changes. With this “change history” in mind, use the following scale to respond to each statement below. Circle the number that most closely reflects your experience. Compare your responses with co-workers and discuss ways to address areas of concern. A perfect score is 100; a perfectly miserable score is 20. 1 2 3 4 5 Strongly disagree Disagree Not sure Agree Strongly Agree 1. Change typically occurs here with a clear picture or vision of the intended future. 12345 2. Appropriate resources needed to make the change work are allocated. 12345 3. The purpose or rationale for any change is clearly communicated to employees. 12345 4. My manager/supervisor consistently demonstrates support for the change. 12345 5. Standards and expectations for new behaviors are established and communicated during 12345 times of change. 6. Communication channels allow for ongoing feedback and/or information sharing between 12345 employees and designated leaders. 7. People impacted by the change are actively involved in shaping the desired future. 12345 8. New expectations are a clear priority and desired actions are reinforced. 12345 9. People most affected by the change are involved in identifying possible obstacles. 12345 10. Processes are in place to document or report on our progress in making change work. 12345 11. Communication channels with designated leaders are open for all employees. 12345 12. People have a chance to “rehearse” new actions through practice, simulations, or visualizing 12345 the change. 13. Employees regularly know how well they are meeting the change expectations. 12345 14. Key milestones are recognized with celebrations, rewards, or other acknowledgement. 12345 15. Employees have a clear understanding of the standards and expectations that accompany 12345 any change. 16. Steps are taken to ensure that employees affected by a change have the knowledge, skills 12345 and abilities necessary to make the change work. 17. Managers and other leaders make themselves easily accessible for answering questions or 12345 information-sharing during times of change. 18. If the change involves significantly altering existing company-wide systems or processes, a 12345 trial period is conducted before the change is fully implemented. 19. Designated leaders actively seek input from employees concerning challenges, 12345 expectations, and innovations. 20. Overall, my organization leads, manages, and supports change in an effective, energizing 12345 way. Creating your own assessment tool As a general rule all generic tools should be adapted for All tools should be adapted relevance to local needs and context before they are used. Or, for local relevance before use. when you look at what is available you might decide that none of it really works for your needs and that you need to create your own tool. You can review the questions in the different tools available on the Internet and decide which, if rephrased for local relevance, might be helpful for your needs. Listed below are some of the key areas that you should be sure to cover with your questions: Attitudes - What is the demand for capacity development and change, and is it sufficient to overcome challenges and resistance and lead to sustainable change? - What is the vision of change and is it agreed by key stakeholders? - What understanding do stakeholders have about how to define necessary changes? - Is there a clear alignment between the shared vision and the development goal? - Who holds the power to support or block change in this context? o Who holds visible/legitimate power? o Where is the invisible/illicit power and how is it used? - Is there political will to initiate and resource change? - What is different stakeholders’ motivation to change? o How important the change initiative is for them? o What incentives are there for them to engage with change? o What perverse incentives would stop them from engaging? - Has senior management made a commitment to act as a sponsor of the change? - What issues in the culture, such as gender, are likely to be relevant to the change initiative? - Is the change consistent with the current organisational culture? - What is the value system and change background of the stakeholder groups? - What type of resistance can be expected and from where? Conditions - How well are stakeholder goals aligned to the development goal to enable harmonisation around the change? - What is the scope of the change in terms of organisations, people, systems etc. that will be affected? - Have the necessary results been quantified and articulated as objectives and indicators? - What supporting legislation, policies, strategies are already in place, and what more is needed? - How much change is already going on and how well is it being managed? - Is there a history of adequately helping individuals make personal changes? - Will human resource policies, practices and processes (e.g., salary and benefits structure) support or inhibit the change? - Does the infrastructure exist to enable employees by providing them with the appropriate tools and training? Resources - What organisational, project or programme management tools already exist that would help to plan, execute and monitor the change? - Are there enough staff in the right places? - Are staff appropriately skilled to manage and implement the change? - Are finance and other necessary resources available or likely to become available? If not, what is needed and where can it be sourced?
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